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Jon Michael Cella

CRD# 2378913·Registered 1994 - 2001
Previously Registered: Being a previously registered professional could mean that Jon is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Jon Michael Cella, who also goes by Jon M Cella, Jon Micheal Cella, was a registered financial advisor. Jon was a previously registered financial professional and started their career in finance 1994 - 2001. Jon had worked at 6 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jon M Cella, Jon Micheal Cella

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

D.L. CROMWELL INVESTMENTS, INC.·CRD# 37730
BD
Boca Raton, FL
May 8, 1998 - October 18, 2001
BRIARWOOD INVESTMENT COUNSEL·CRD# 6368
BD
New York, NY
October 14, 1997 - March 25, 1998
SAUCEDA & GRANVILLE SECURITIES, INC.·CRD# 28939
BD
Denver, CO
December 19, 1996 - July 8, 1997
S. D. COHN & CO., INC.·CRD# 27827
BD
Hauppauge, NY
April 10, 1996 - October 10, 1996
CORTLANDT CAPITAL CORPORATION·CRD# 25152
BD
New York City, NY
August 15, 1995 - April 12, 1996
WILLIAM SCOTT & CO. L.L.C.·CRD# 14979
BD
Union, NJ
May 13, 1994 - August 29, 1995

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Current Firm

DC
D.L. CROMWELL INVESTMENTS, INC.

D.L. CROMWELL INVESTMENTS, INC.

CRD#: 37730 / SEC#: 8-47938
BD
Cancelled by SEC on 10/09/2003

Contact Information

Established

Florida since 12/05/1994

Firm Type

Corporation

Fiscal Year End

September

Documents

Direct owners and executive officers

NamePositionCRD#
D.L. CROMWELL & CO., LLCSHAREHOLDER—
BEIRNE, LLOYD SYLVESTER MARTINMUNI PRINCIPAL/CCO/PRESIDENT/FINOP1982417
DAVIDSON, DAVID STEWARTCHAIRMAN1212799
GREENWALD, MATTHEWSROP/CROP229262

Disclosures

Regulatory Event

11

Arbitration

6

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1994About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed May 1994About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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